Budapest Open Access Initiative
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| Budapest Open Access Initiative | |
|---|---|
| Name | Budapest Open Access Initiative |
| Formation | 2002 |
| Founders | SPARC (Scholarly Publishing and Academic Resources Coalition), Open Society Institute, George Soros |
| Location | Budapest, Hungary |
| Purpose | Open access to scholarly literature |
Budapest Open Access Initiative
The Budapest Open Access Initiative emerged in 2002 as a statement advocating free online access to peer-reviewed scholarly communication, aiming to change practices in scientific publishing, higher education, and research funding. Drafted during a meeting convened by SPARC (Scholarly Publishing and Academic Resources Coalition), the Open Society Institute, and other organizations, it sought to accelerate shifts initiated by projects such as arXiv and policies at institutions like Harvard University and Stanford University. Its language influenced subsequent declarations and policies at bodies including the Wellcome Trust, the National Institutes of Health, and the European Commission.
Background and Origins
The initiative was formulated at a 2001–2002 meeting in Budapest that brought together representatives of advocacy groups, university libraries, funders, and publishers such as SPARC (Scholarly Publishing and Academic Resources Coalition), the Open Society Institute, and activists associated with Peter Suber and Stevan Harnad. Participants included delegates from institutions like Harvard University, University of Toronto, Max Planck Society, JSTOR, and research funders such as the Wellcome Trust. The context included the emergence of preprint repositories exemplified by arXiv and repository software projects like DSpace and EPrints, debates at conferences including International Congress on Peer Review and Scientific Publication, and legal frameworks shaped by statutes such as the Copyright Act (United States) and directives from the European Union.
Principles and Definition of Open Access
The statement articulated a practical definition of open access: free availability on the public internet permitting users to read, download, copy, distribute, print, search, link to full texts, crawl for indexing, and use them for lawful purposes without financial, legal, or technical barriers, while respecting author attribution. This formulation echoed concepts debated in venues like SPARC Europe, the Scholarly Publishing and Academic Resources Coalition, and publications in journals such as PLoS Biology and Nature. It proposed two complementary strategies: self-archiving in institutional repositories like DSpace at MIT and community repositories such as arXiv, and the creation of open access journals modeled on projects like Public Library of Science and BioMed Central. The language influenced policy instruments at funders including the National Institutes of Health, the Wellcome Trust, and the European Commission's Horizon 2020 program.
Signatories and Early Impact
Early signatories included individuals and institutions from universities such as Harvard University, University of California, University of Oxford, and research agencies like the National Institutes of Health and the Wellcome Trust. Libraries and consortia including SPARC (Scholarly Publishing and Academic Resources Coalition), LIBER (Ligue des Bibliothèques Européennes de Recherche), and ARL (Association of Research Libraries) endorsed the statement. The initiative catalyzed the growth of repositories like EPrints at the University of Southampton, institutional mandates at University of Liège, and publisher experiments by Elsevier and Springer Nature in hybrid models. It spurred discussions at meetings such as the Open Access Week events and influenced manifestos from entities like PLOS.
Implementation and Policies Influenced
The initiative’s principles informed policy decisions at major funders and institutions: the National Institutes of Health implemented a public access policy, the Wellcome Trust adopted an open access mandate, and the European Commission integrated open access requirements into FP7 and Horizon 2020. Universities including Harvard University, MIT, Stanford University, and University of California developed institutional repositories and faculty mandates. Repository platforms such as DSpace, Fedora Commons, and EPrints scaled to host content; indexing services including PubMed Central and aggregators like Google Scholar increased discoverability. The statement also intersected with scholarly communication reforms promoted by organizations like Committee on Publication Ethics and influenced negotiations involving publishers including Elsevier, Springer Nature, and Wiley over transformative agreements.
Criticism and Debates
Critics raised concerns about sustainability, quality control, and business models. Commercial publishers such as Elsevier and Wiley warned about revenue loss and peer review funding; advocates for alternative models referenced initiatives like PeerJ and Frontiers. Debates involved researchers at institutions such as Johns Hopkins University and University of California over article processing charges (APCs), equity for scholars in low-income countries represented by groups like the Council for the Development of Social Science Research in Africa, and the role of hybrid journals promoted by Taylor & Francis. Legal scholars cited tensions with statutes like the Copyright Act (United States) and international agreements including the Berne Convention. Discussions about metrics involved actors such as Clarivate and critiques by proponents of initiatives like DORA (Declaration on Research Assessment).
Legacy and Ongoing Influence
The initiative’s legacy includes widespread institutional mandates, the proliferation of open access journals and repositories, and policy frameworks at funders including the National Institutes of Health, the Wellcome Trust, and the European Research Council. It shaped infrastructure efforts like PubMed Central, Europe PMC, and repository software projects such as DSpace and Fedora Commons, and informed negotiations between consortia like CERN-linked projects and publishers. Ongoing influence is visible in global movements such as Plan S, national policies by governments like United Kingdom and France, and advocacy by organizations including SPARC (Scholarly Publishing and Academic Resources Coalition) and Right to Research Coalition. The initiative continues to be cited in debates over open scholarship practices at venues like OpenAIRE and in policy developments driven by the European Commission and major funders.